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Latest News
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Canada regulatory roundup: OFSI cuts red tape, CIRO discovers cyber breach
This week’s highlights in Canadian financial regulation.
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The ghost in the machine: Why culture still eats RegTech for breakfast
If billions in annual technology spend still leaves us exposed, it’s worth asking: Is the issue a lack of tools, or a lack of organizational capacity to use them effectively?
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NYDFS fines dental plan firm $2m in phishing breach
Failure to use MFA to protect data of 90,000 customers leads to fine and raises legal questions.
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HHS secures $175,000 HIPAA settlement over phishing ransomware breach
The case underscores HHS’s growing focus on business associates and the Risk Analysis Enforcement Initiative.
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DOJ FCPA declination points to continuation of policies and importance of robust compliance
The company’s voluntary disclosure and full and proactive cooperation in the matter were highlighted among the reasons to decline prosecution.
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FDA PreCheck launches to strengthen domestic drug manufacturing
The FDA has unveiled FDA PreCheck, a two-phase program designed to speed approvals and boost regulatory certainty for US drug manufacturing projects.
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FINRA disciplinary action update 2025/30
Disciplinary decisions issued August 9 – 15, 2025.
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FINRA sues broker at center of investor complaints, cites failure to testify
Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.